SFC signs MoU with SEC to enhance supervision of Cross-Border Regulated Entities


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The Securities and Futures Commission (SFC) has entered into a memorandum of understanding (MoU) with the U.S. Securities and Exchange Commission (SEC) providing for consultation, cooperation and exchange of information related to the supervision and oversight of regulated entities that operate on a cross-border basis in Hong Kong and the United States of America.

The MoU covers exchanges and other trading venues, market intermediaries, investment funds or companies, clearing agencies and credit rating agencies.

Through the MoU, the SFC and the SEC express their willingness to cooperate with each other in the interest of fulfilling their respective regulatory mandates.

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SFC signs MoU with SEC to enhance supervision of Cross-Border Regulated Entities

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